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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2010-01-26
CA RA APPROVED 2009-04-06
  • TX RA
    APPROVED_RES
    Since 2010-01-26
  • CA RA
    APPROVED
    Since 2009-04-06

Branch Locations

401 W 4Th Street Suite 3100, Austin, TX 78701 • United States

2000 Avenue Of The Stars 12Th Floor South, Los Angeles, CA 90067 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Ubs Financial Services Inc Los Angeles CA 04/2009 Present
Other Businesses

VILLA DE VIDA; 249 N Lake Ave, Pasadena, CA 91101; Creat an assisted living facility for adults with developmental disabilities; Member of Board of directors; advisory role; 9/20/2014; Business hours per month: No // BORA BORA LLC; 16736 Calle Arbolada, Pacific Palisades, CA 90272; to hold my boat and associated gear; Other; managing member; sole member. I make all decisions; 11/2/2016; Business hours per month: No // SAN DIEGA YACHR CLUB INVESTMENT COMMITTEE; 1011 Anchorage Ln, San Diego, CA 92106; member of the investment committee. Assist in the management of the assets of the club; Advisor or advisory group member if advice given may influence an officer/board; assist in the management of the assets of the club; 11/1/2018; Business hours per month: Yes, UNITED STATES SAILING FOUNDATION INVESTMENT COMMITTEE; 1 Roger Williams University Way, Bristol, RI 02809; member of the investment committee. Assist in the management of the assets of the foundation; Advisor or advisory group member if advice given may influence an officer/board; assist in the management of the assets of the foundation; 10/1/2020; Business hours per month: Yes // FAR NIENTE, LLC; 16736 Calle Arbolada, Pacific Palisades, CA 90272; own a boat; Partner; 1/3 partner; 11/15/2017; Business hours per month: No 2) Yankee, LLC/ Role -Partner/ Comp-No 3) CONNECTION COLLECTIVE HOLDINGS LLC, Austin TX United States-78701, Company, Services (Business, Professional, Support), A match making service, simply lending money to this company. My role is passive, simply a lender, start date-5/1/2025.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2000-12-01
  • S66 Uniform Combined State Law Examination
    2000-12-01

View on SEC IAPD

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